Latest Dodd-Frank Posts
Crowdfunding and Jobs Act News Roundup – May 3, 2013
Public Companies and Securities Mary Jo White, now chair of the SEC, submitted a written statement in her confirmation hearing that said “First, I would work with the staff and my fellow Commissioners to finish, in as timely and smart a way as possible, the rulemaking mandates contained in the Dodd-Frank Act and JOBS Act. The SEC needs to [...] Read more →
Resources to Update Comp Committee Charter Requirements by July 1
Public Companies and Securities As most listed public companies know, as a result of the Dodd-Frank Act, the stock exchanges have adopted rules regarding the independence of compensation committees and their... Read more →
CFTC Reiterates that “Wash Trades” Are “Grave Violations” in Penalizing Two Experienced Traders for Wash Trading
Broker-Dealer, Energy On Monday, April 29, the Commodity Futures Trading Commission reiterated that wash trades (transactions without intent to take genuine, bona fide positions in the market, such as... Read more →
Conflict Minerals Challenge to Follow Resource Extraction Case to District Court
Public Companies and Securities As previously noted, the Court of Appeals for the District of Columbia recently dismissed a challenge to the SEC’s resource extraction rules for lack of jurisdiction. The case... Read more →